SEC, FINRA Enforcement: HFT Firm Charged With Manipulating Closing Prices – ThinkAdvisor

ThinkAdvisor
In an affinity fraud scheme, from at least March 2011 through August 2014, Burlum and EES sold at least $2.8 million worth of unregistered securities through the fraudulent offer and sale of EES common stock, common stock purchase warrants, and …

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